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NORTHERN TRUST SECURITIES, INC

CHICAGO, IL · CRD 7927 · IAPD ↗ · northerntrust.com · 312-630-6000

$1.66BRegulatory AUM
41Advisory reps
385Employees
0Clients
251-500Planning clients
0Private funds
52States
3Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
June 2026 — NORTHERN TRUST SECURITIES, INC's Item 11 disclosure-reporting entries rose by 2 (1 -> 3).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2026 — NORTHERN TRUST SECURITIES, INC shrank from 62 to 41 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
55
April 2026 — NORTHERN TRUST SECURITIES, INC added office(s): 24 -> 29 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
66
April 2026 — NORTHERN TRUST SECURITIES, INC reported RAUM up 30% ($1.28B -> $1.66B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
78
April 2026 — NORTHERN TRUST SECURITIES, INC reports 251-500 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
80
April 2026 — NORTHERN TRUST SECURITIES, INC now offers financial planning (Item 5G(1)).
Firm now reports offering financial planning (Item 5G(1)). They need planning software.
Financial planning softwareCRM
55
April 2025 — NORTHERN TRUST SECURITIES, INC's Item 11 disclosure-reporting entries rose by 1 (4 -> 5).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
March 2025 — NORTHERN TRUST SECURITIES, INC shrank from 70 to 62 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
55
March 2025 — NORTHERN TRUST SECURITIES, INC added office(s): 20 -> 24 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
55
March 2025 — NORTHERN TRUST SECURITIES, INC notice-filed in AK, AL, AR, DE, IA, ID, KS, MS, MT, ND, NE, NM, RI, SD, VI, WV, WY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
47
January 2025 — NORTHERN TRUST SECURITIES, INC notice-filed in KY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
47
April 2024 — NORTHERN TRUST SECURITIES, INC notice-filed in OK.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
April 2024 — NORTHERN TRUST SECURITIES, INC added office(s): 19 -> 20 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
82
April 2024 — NORTHERN TRUST SECURITIES, INC grew from 58 to 70 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
85
April 2024 — NORTHERN TRUST SECURITIES, INC crossed $1B in regulatory AUM ($829.5M -> $1.03B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.